SEC

The SEC under president Biden is expected to take a more aggressive role in regulating and punishing bad practices across corporate America, including private equity.

Unproven theory may make firms hostage to their own P&Ps, side agreements.

Regulators and investors demand 'horsepower' behind compliance regimes for smaller firms

Firms should focus beyond the Commission's 'hot topic' compliance issues and understand their own individual vulnerabilities. 

Republican SEC Commissioner Hester Peirce continues her rear-guard action against what she sees as regulatory overreach in ESG disclosures.

The former co-head of the SEC private funds unit speaks to Secondaries Investor about risks in the technical aspects of restructuring transactions.

Momentus CEO Mikhail Kokorich and his SPAC backers misled investors about Kokorich's national security 'threat,' the Commission claims.

Take a tour of the new RCW website

Rozenblit announced this week the launch of his firm, Iron Road Partners, to work with alternatives shops on preparing for regulatory examinations and investigations, among other things.

Led by a Democratic majority, the new Commission is likely to take a different tack on private funds under Gary Gensler than under his predecessor. Compliance pros tell us what funds can do to stay on the SEC’s good side.